Disciplinary outcome: Geraint Hodges

Order by consent

In the matter of

Geraint Hodges MAAT

Membership number

20033804

Date

12 October 2023

Misconduct

Geraint Hodges' conduct was found to be in breach of the Code of Professional Ethics and to have posed a risk to the public and/or undermine public confidence in the Association and its members as follows:
1. For an unknown period up until on or around 16 March 2023, he provided Company Secretarial Services whilst not licensed to do so
2. For an unknown period up until on or around 13 March 2023 he did not document his firm’s ongoing client due diligence measures as is required under the Money Laundering Regulations in force.
 

Finding

Grounds for disciplinary action existed and the matter was suitable for exercise of the Investigations Team's powers under the Disciplinary Regulations.

Order

Geraint Hodges is hereby:
1. Reprimanded for a period of two years 
2. Fined £1,000
3. Deemed ineligible to hold fellow membership status for a period of two years
4. Warned about his future conduct.

Consent

Geraint Hodges consented to the decision of the Investigations Team in accordance with Regulation 6 of the Disciplinary Regulations.